REs for Compliance Officers

We recently published a template showing the deadlines for compliance officers to successfully complete specific regulatory exams.

The FSB very kindly expanded on our original publication, including CO’s for Licence Category 4, and also provided clarity on certain aspects regarding COs who work under supervision.

Please note: this applies to registered compliance officers only. If you are a sole proprietor, for instance, this does not apply to you.

If you still have to write one or more regulatory exams, please note that the deadline of 31 August is just around the corner. Please do not delay writing, in the hopefully unlikely event that you do not pass at the first attempt.

Please click here to read the amended document.

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